| 20-01070 | 09/23/2021 | Claimant(s): Jess DiPasquale
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Betty Chen, Harrison Johnson, Emily Diamond
Hearing Site: New York, NY
|  | $0 |
| 19-01867 | 09/08/2021 | Claimant(s): Anthony Porco
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Terrance J. Nolan, Betty Chen, John Michael Richardson
Hearing Site: New York, NY
| | $0 |
| 19-00513 | 11/13/2020 | Claimant(s): Donna Nicosia
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Aubrey Lees, Betty Chen, Ariel Aminov
Hearing Site: New York, NY
| | Settlement |
| 18-01916 | 06/21/2019 | Claimant(s): The Elaine Lynn Revocable Trust, The Melvin Lynn Revocable Trust
Claimant Lawyers(s): Eric M. Jaffe
Respondent(s): J.P. Morgan Securities, Jeremy Rayburn, Vincent Sapienza
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Maria C. Hermida, Betty Chen, Andrew M. Schmertz
Hearing Site: New York, NY
| | $0 |
| 16-03287 | 07/06/2018 | Claimant(s): Alberto Corretjer-Reyes, Antonio Corretjer-Benvenutti, Carlos Reyes Vidal, Maria Reyes-Vidal, Roberto Corretjer-Piquer, Matilde Nadal De Vidal., Estate of Miriam Vidal -Nadal, Epifanio Vidal S.E., Fanovidal S.E., Roberto Corretjer-Piquer Retirement Plan
Claimant Lawyers(s): August M. Iorio
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Stephan M. Louviere
Arbitrator(s): Shelley Teitelbaum, Veera V. Konka, Betty Chen
Hearing Site: New York, NY
| | $250,000 |
| 16-03304 | 02/27/2018 | Claimant(s): Erich Ledermann
Claimant Lawyers(s): Erich Ledermann
Respondent(s): Alexander Kibrik
Respondent Lawyers(s): Alexander Kibrik
Arbitrator(s): Betty Chen, Edmund Timothy Donovan, Gerald M. Levine
Hearing Site: New York, NY
| | $419,080 |
| 15-02115 | 05/17/2016 | Claimant(s): Moussa Sarwa, Touneh Sarwa
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Betty Chen, Stephen M. Schaedtler, Mary Julia O'Connell
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
